Arrangements for consulting practitioners and consumers. Certificates as to legality and as to consent. The PRA must maintain satisfactory arrangements for—. 167. 168. 0000021139 00000 n 5. 0000008306 00000 n (1) Shares or stock in the share capital of a... Instruments creating or acknowledging indebtedness. Information: compliance with EU requirements. Exercise of powers where UK is host member state. 73. Insurers effecting or carrying out long-term contracts or insurance. 348. Appointment of persons to carry out general investigations. Insurance business: regulations supplementing Authority’s rules. in support of overseas regulator. This CIRCULAR is ONLY for UK shareholders. Exercise of own-initiative power: procedure. 366. 127. Wörterbuch Englisch → Deutsch: Financial Services and Markets Act 2000 FSMA: Übersetzung 1 - 50 von 10659 >> Englisch: Deutsch: econ. Access essential accompanying documents and information for this legislation item from this tab. Reclaim funds: service of petition etc on FCA and PRA, Liquidator's duty to report to FCA and PRA. vW�U����:��p��.�I���b�K���( C�f���� !slxk�V���q��ZUmr�| ����}����Y�rfPCջ�V��= 0QLO�u-� �!f�@��a�x��e����� 7. Regulations. Prohibitions and Restrictions imposed by OFFICE OF FAIR TRADING. Procedure: revocation of direction and grant of request for variation. Misleading statements and practices. You may also experience some issues with your browser, such as an alert box that a script is taking a long time to run. False claims to be authorised or exempt. Financial Conduct Authority 5 Proposed changes to our pension transfer rules CP15/7 March 2015 1. Arrangements for the investigation of complaints. 50. Consequential and supplementary provision. 12. 36. 133A. in transferable securities without approved prospectus, Exempt offers to the public and admissions to trading, Criteria for approval of prospectus by FCA, Consideration of application for approval, Procedure for decision to refuse an application for approval, Transfer by FCA of application for approval, Transfer to FCA of application for approval, Provision of information to host Member State, Requirements imposed as condition of approval, Power to suspend , restrict or prohibit offer to the public, Power to suspend , restrict or prohibit admission to trading on a regulated market, Power of FCA to suspend or prohibit trading on a trading facility, Procedure under sections 87JA, 87K, 87L and 87LA, Exercise of powers at request of competent authority of another EEA State, Disciplinary powers: contravention of s.88(3)(c) or (e), Action under s.88A: procedure and right to refer to Tribunal, Statement of policy under s.88C: procedure, Powers exercisable to advance operational objectives, Provision of information by issuers of transferable securities, Notification of voting rights held by issuer, Notification of proposed amendment of issuer's constitution, Transparency rules: other supplementary provisions, Requirements in connection with call for information, Power to call for information: supplementary provisions, Power to suspend or prohibit trading of securities, Disciplinary powers: contravention of s.89P(4)(b) or (d), Action under s.89Q: procedure and right to refer to Tribunal, Statement of policy under s.89S: procedure, Compensation for statements in listing particulars or prospectus, Liability of issuers in connection with published information, Power to make further provision about liability for published information. 9A. 3. (1) The Finance Act 1991 is amended as follows. Powers of persons appointed as a result of section 168(2). 23.Omit sections 11B (loans approved by credit unions), 11C (grant... 24.In section 12, omit subsections (4) and (5). Effect of certain requirements on other persons. 10. 7.3 Financial Services and Markets Act 2000. 8. The Authority’s general duty to consult. 296A.Additional power to direct recognised central counterparties. Provisions included in the FCA's code by reference to the City Code. Guidance on outsourcing by investment firms and credit institutions. 232. Revocation of authorisation order otherwise than by consent. 22A.Designation of activities requiring prudential regulation by PRA, 22B.Parliamentary control in relation to certain orders under section 22A. Scheme reports: insurance business transfer schemes, Scheme reports: ring-fencing transfer schemes. 5. Pursuant to a section 168(5) investigation into Barclays Bank … Part XI Information Gathering and Investigations. 252. Notification: overseas investment exchanges and overseas clearing houses. 35.Any amount (other than a fee) which is required by... Further provision about the consumer financial education body, Ensuring exercise of consumer financial education function etc. 28. 4.An issuer of securities to which this Schedule applies is... 5.Liability of issuer for dishonest delay in publishing information. 14. 16.The EC Competition (Articles 88 and 89) Enforcement Regulations 1996... 17.The Unfair Terms in Consumer Contracts Regulations 1999. 18. 362A. Financial Services and Markets Act 2000, SCHEDULE 22 is up to date with all changes known to be in force on or before 09 December 2020. Procedure: revocation of direction and grant of request for variation. Requests for revocation of authorisation order. 277. You may also experience some issues with your browser, such as an alert box that a script is taking a long time to run. Advertisements etc. 8. Information given by auditor or actuary to a regulator: persons with close links. 4. 137C.FCA general rules: cost of credit and duration of credit agreements, 137D.FCA general rules: product intervention, 137F.Rules requiring participation in benchmark, 137FA.FCA general rules: disclosure of information about pension scheme transaction costs etc, 137FB.FCA general rules: disclosure of information about the availability of pensions guidance, 137FBA.FCA general rules: advice about transferring or otherwise dealing with annuity payments, 137FBB.FCA general rules: early exit pension charges, 137FC.FCA rules: disclosure of information about the availability of financial guidance, 137FD.FCA general rules: charges for claims management services, 137I.Remuneration policies: Treasury direction to consider compliance, 137J.Rules about recovery plans: duty to consult, 137K.Rules about resolution packs: duty to consult, 137L.Interpretation of sections 137J and 137K, 137M.Special provision relating to adequacy of resolution plans, 137N.Recovery plans and resolution packs: restriction on duty of confidence, 137S.Financial promotion rules: directions given by FCA, 137SA.Rules to recover expenses relating to the Money and Pensions Service, 137SB.Rules to recover debt advice expenses incurred by the devolved authorities, CHAPTER 2 Rules: modification, waiver, contravention and procedural provisions, 138B.Publication of directions under section 138A, 138E.Limits on effect of contravening rules, 138M.Consultation: exemptions for temporary product intervention rules, 138N.Temporary product intervention rules: statement of policy, 138O.Statement of policy under section 138N: procedure, 139B.Notification of FCA guidance to the Treasury, 140B.Advice about effect of regulating provision or practice, 140E.Publication by CMA of section 140B advice, 140F.Duty of CMA to send report to regulator, 140G.Duty of regulator to publish response, CHAPTER 5 Power to make consequential amendments. Meaning of “home State” in relation to transferable securities. Powers of FCA and PRA to participate in proceedings. 10. PRA's power to require information: financial stability, Safeguards etc in relation to exercise of power under section 165A, Appointment of skilled person to collect and update information. <<3428D52F1966354382047448777340AD>]>> Limits on effect of contravening rules. Changes and effects are recorded by our editorial team in lists which can be found in the ‘Changes to Legislation’ area. Accepting deposits in breach of general prohibition. 11. 418. Treasury's power to require information from scheme manager. Powers of persons appointed under section 167. Partnerships and unincorporated associations. 9. 3. 0000035049 00000 n 339A.General duties of PRA in relation to auditors, 339B. Amendment of section 716 Companies Act 1985. Schemes authorised in designated countries or territories. 140. 127A.Consultation with the PRA in relation to administrative sanctions, 129. Any changes that have already been made by the team appear in the content and are referenced with annotations. 137B.FCA general rules: clients' money, right to rescind etc. 8. 402. Procedure when refusing an application. Certain tied agents operating outside United Kingdom. 243A.Authorisation orders: authorised money market funds. fin. 25.In section 14, omit subsections (2), (3), (5) and (6).... 26.In section 28 (offences), omit subsection (2). Rules applicable to former underwriting members. LNDOCS01/ 1128231.1 1128231.3 3 (6) These Regulations come into force for all other purposes on 3rd January 2018. Appropriate regulator's power to give directions. 11.“Host state regulator” means the competent authority (within the meaning... 11A.”Tied agent” has the meaning given in Article 4.1.29 of... 11B.“ Management company ” has the meaning given in Article... 11C.“ UCITS ” has the meaning given in Article 1.2... 11D.“ EEA AIFM ” means an EEA firm falling within... Part II Exercise of Passport Rights by EEA Firms. CHAPTER 1 The Financial Conduct Authority, Interpretation of terms used in relation to FCA's general duties, 1F.Meaning of “relevant markets” in strategic objective, 1H.Further interpretative provisions for sections 1B to 1G, Modifications applying if core activity not regulated by PRA, 1IA.Modifications applying if core activity not regulated by PRA, 1JA.Recommendations by Treasury in connection with general duties, 1L.Supervision, monitoring and enforcement, 1O.The Smaller Business Practitioner Panel, 1R.Duty to consider representations made by the Panels, 1T.Right to obtain documents and information, CHAPTER 2 The Prudential Regulation Authority, 2D.Power to provide for additional objectives, 2F.Interpretation of references to objectives, 2H.Secondary competition objective and duty to have regard to regulatory principles, 2K.Arrangements for supervision of PRA-authorised persons, Arrangements for consulting practitioners, 2P.Right to obtain documents and information, CHAPTER 3 Further provisions relating to FCA and PRA, 3B.Regulatory principles to be applied by both regulators, 3C.Duty to follow principles of good governance, 3D.Duty of FCA and PRA to ensure co-ordinated exercise of functions, 3G.Power to establish boundary between FCA and PRA responsibilities, 3H.Parliamentary control of orders under section 3G, Power of PRA to restrain proposed action by FCA, 3I.Power of PRA to require FCA to refrain from specified action, 3J.Power of PRA in relation to with-profits policies, 3K.Revocation of directions under section 3I or 3J, 3L.Further provisions about directions under section 3I or 3J, Directions relating to consolidated supervision, 3M.Directions relating to consolidated supervision of groups, 3N.Revocation of directions under section 3M, 3O.Further provisions about directions under section 3M, 3P.Consultation by regulator complying with direction, 3Q.Co-operation by FCA ... with Bank of England, 3R.Arrangements for provision of services. Right to obtain documents and information. 15. 6.“ EEA authorisation ” means— (a) in relation to an... 7.“EEA right” means the entitlement of a person to establish... 7A.In paragraph 7, “ relevant office ” means—. 333B. 338. 2. 245. Omit Schedule 3 (supplementary provisions about authorisation). Rights under a contract for the sale of a commodity... Rights under— (a) a contract for differences; or. Orders under section 142A, 142B, 142D or 142E, Powers of Treasury in relation to ring-fencing rules, Cases in which group restructuring powers become exercisable, Procedure: warning notice and decision notice, Subsequent variation of requirement or direction, Relationship with regulators' powers under Parts 4A and 12A, Imposition of penalties under section 142S: statement of policy, Further interpretative provisions for section 142W, Power of Treasury in relation to loss-absorbency requirements, Affirmative procedure in relation to certain orders under Part 9B, Rules about recovery and resolution plans: supplementary provision, Special provision in relation to resolution plans. Revocation of authorisation order otherwise than by consent. Ombudsman’s power to require information. 259. (1) The FCA may appoint an independent person to conduct... (1) A person conducting a review under paragraph 15—. Application to revoke prohibition or restriction. 0000018971 00000 n 1A. 20. 174. 331. Short selling rules: definitions etc, 131D.Short selling rules: procedure in urgent cases, 131F.Power to require information: supplementary, 131FA.Investigations in support of EEA regulator”, 131FC.Retention of documents taken under section 131FB, 131G.Power to impose penalty or issue censure, 131H.Procedure and right to refer to Tribunal, 131J.Imposition of penalties under section 131G: statement of policy. Scheme operator's duty to provide information to FCA. The Civil Jurisdiction and Judgments Act 1982 (c. 27). 7. xref 347A.Duty of PRA to disclose information relevant to the record. trailer Liability in relation to recognised body’s regulatory functions. In section 11 (loans), omit subsections (2) and (6). They impose new requirements on recognized central counterparties and recognized clearing houses, which are not central counterparties. Administrator appointed by company or directors. 0000020249 00000 n 243. ADVISER, AUTHORISED UNDER THE FINANCIAL SERVICES AND MARKETS ACT 2000 PROPOSAL FOR A SCHEME OF ARRANGEMENT in relation to CFP SDL UK BUFFETTOLOGY FUND (a sub-fund of Castlefield Funds, an investment company with variable capital) with CFP SDL UK BUFFETTOLOGY FUND (a sub-fund of CFP Sanford DeLand Funds, an investment company with variable capital) Notice of the … Agreements made through unauthorised persons. The Financial Services and Markets Act 2000: A Guide to the New Law | Alcock, Alistair | ISBN: 9780853085638 | Kostenloser Versand für alle Bücher mit Versand und Verkauf duch Amazon. Carrying on regulated activities by way of business. 407. Orders in relation to the general prohibition. 10. 2. Procedure on making or varying orders under section 329. 152. 11. 16. 258A.Winding up or merger of master UCITS. The Authority’s general duties 2. 12. Scheme manager’s power to inspect documents held by Official Receiver etc. 6. Information given by auditor or actuary to a regulator. 21. 115. Restriction on managers of certain collective investment schemes. 24D.Giving advice to a person other than a body corporate... PART 2B Regulated activities relating to the setting of benchmarks, 24H.Determining or publishing benchmark or publishing connected information. Right to refer matters to the Tribunal. 272. Consideration by Competition Commission. 55. Cancellation of Part IV permission: procedure. Insurers: service of petition etc. Discontinuance or suspension: procedure. FCA general rules: clients' money, right to rescind etc. Consequences of a direction under section 405. 120. Prohibition orders: procedure and right to refer to Tribunal. The FCA’s statutory objectives were set up under the Financial Services and Markets Act 2000 and amended by the Financial Services Act 2012. 169A.Support of overseas regulator with respect to financial stability. Appointment of actuary in relation to reduction of benefits. 426. 31. 282. 398. Insurers effecting or carrying out long-term contracts or insurance. 404D.Applications to Tribunal to quash rules or provision of rules, 404G.Power to widen the scope of consumer redress schemes. (1) The securities are investments of a specified kind creating... 24A.Units in a collective investment scheme. Power to make consequential amendments of references to rules etc. Corporate governance 7. 17. 16. Liability of issuer for dishonest delay in publishing information. Exemption of appointed representatives. 410A.Fees to meet certain expenses of the Treasury, 410B.Directions in pursuance of section 410A. 28A.Credit-related agreements made unenforceable by section 26, 26A or 27, 28B.Decisions under section 28A: procedure. 14. Discontinuance and suspension of listing. 102. Parliamentary control of statutory instruments. 396. You 13. 0000002795 00000 n Part XXIII Public Record, Disclosure of Information and Co-operation. (1) In this Schedule— “assets” includes contingent assets; “consolidated supervision”... PART 1B Part 4A permission: authorised persons who are not PRA-authorised persons, PART 1C Part 4A permission: conditions for which FCA is responsible in relation to PRA-authorised persons. False claims to be a person to whom the general prohibition does not apply. Changes we have not yet applied to the text, can be found in the ‘Changes to Legislation’ area. Exemption from the general prohibition. Reference by scheme operator or regulated person, Power of FCA to make request to Competition and Markets Authority, The FCA's functions under Part 4 of the Enterprise Act 2002, The FCA's functions under the Competition Act 1998, Duty to consider exercise of powers under Competition Act 1998, Provision of information and assistance to a CMA group. 392. Minor and consequential amendments, transitional provisions and repeals. There are outstanding changes not yet made by the legislation.gov.uk editorial team to Financial Services and Markets Act 2000. Determining or publishing benchmark or publishing connected information. Approval for particular arrangements. 14. Sanction of the court for business transfer schemes. 151. 8. Provision of false or misleading information to auditor or actuary. In some cases the first date is 01/02/1991 (or for Northern Ireland legislation 01/01/2006). 107. 19. Partnerships and unincorporated associations. Continuity of long-term insurance policies. 0 In this Part of this Schedule “ the appropriate UK... (1) Subject to sub-paragraphs (5ZA) , (5ZB) , (5A) and... (1) Subject to sub-paragraphs (4D) to (4I), a UK firm... (1) If a UK investment firm or UK credit institution... (1) A full-scope UK AIFM may not exercise in the... (1) If a UK firm which is not an authorised... (1) Regulations may make such provision as the Treasury consider... (1) Sub-paragraphs (2) and (2A) apply if a UK firm—... (1) Sub-paragraph (2) applies if a UK firm—, (1) The regulators may make arrangements about—. 220. 218A. Provisions relating to industrial assurance and certain other enactments. 306. (1) Buying, selling, subscribing for or underwriting investments or offering... 3.Making, or offering or agreeing to make—. 78. The constitution of the PRA must provide—. Meaning of “qualifying authorised person”, Meaning of “qualifying parent undertaking”, Power to direct qualifying parent undertaking, Statement of policy: directions under section 192C, Statement of policy relating to directions: procedure, Imposition of penalties under section 192K: statement of policy. 135. 361.Administrator’s duty to report to FCA and PRA. 31. General duty of disclosure in listing particulars. Representations to Office of Fair TradingOFT. View on Westlaw or start a FREE TRIAL today, Financial Services and Markets Act 2000, PrimarySources 3. M�Z�h5�)�6!�'(y�����"4 '��,�'KX�[�t��y�z�G�R�M��>H-��dc��CU��յcW��~Ͱ�l�T� We can provide these investment services if they are an incidental part of the professional services we have been engaged to provide. 276. Applications relating to prohibitions: procedure and right to refer to Tribunal. 20. 200 provisions and might take some time to download. (1) Transferable securities included in an offer where the total... PART 2 CONNECTED PERSONS: REFERENCES TO AN INTEREST IN SHARES OR DEBENTURES, 10.Right to exercise or control exercise of rights, Part I Insurance Business Transfer Schemes. 24. The Financial Services and Markets Tribunal. (1) Sending on behalf of another person instructions relating to... Part 1A Regulated activities: reclaim funds. Exemption for recognised bodies etc. The Regulations amend the Financial Services and Markets Act 2000 to give effect to the requirements of the EU Prospectus Regulation. Chapter III Authorised Unit Trust Schemes. 362. Authorisation orders: authorised money market funds. Section 162: modification of Schedule 7 to the Competition Act... Reports under section 162: further provision, Information and Investigations: Connected Persons. 14. Appropriate regulator's power to give directions. 111. Powers of court where information required. 173. 15. 158. 35. Authorised contractual schemes: holding of units, 261EA.Authorisation orders: authorised money market funds, 261G.Procedure when refusing an application, 261J.Contractual scheme particulars rules, Co-ownership schemes: rights and liabilities of participants, 261N.Effect of becoming or ceasing to be a participant, 261P.Segregated liability in relation to umbrella co-ownership schemes, 261Q.Alteration of contractual schemes and changes of operator or depositary, 261R.Procedure when refusing approval of a proposal under section 261Q, 261S.Proposal to convert to a non-feeder UCITS, 261U.Revocation of authorisation order otherwise than by consent, 261V.Procedure for revoking authorisation order, 261W.Requests for revocation of authorisation order, 261Z.Winding up or merger of master UCITS, 261Z1.Procedure on giving directions under section 261X or 261Z and varying them on FCA’s own initiative, 261Z2.Procedure: refusal to revoke or vary direction, 261Z3.Procedure: revocation of direction and grant of request for variation, 261Z4.Information for home state regulator, Chapter IV Open-ended Investment Companies. 221. 273. Consideration of matters arising on a report, Investigations under section 162: application of Enterprise Act 2002. Original (As Enacted or Made): The original version of the legislation as it stood when it was enacted or made. Applications for recognition of individual schemes. 5. 9. Procedure when refusing approval of a proposal under section 251. 202. Exemption from requirement for use of “limited” in name of FCA. in connection with listing applications. Authorised persons acting without permission. There are outstanding changes not yet made by the legislation.gov.uk editorial team to Financial Services and Markets Act 2000. 16C. 161. Proposal to take disciplinary measures. 384. Restrictions on disclosure of confidential information by FCA, PRA etc. in connection with listing applications. 219. Insurers: service of petition etc. Duty of PRA to disclose information relevant to the record. Administrator appointed by company or directors. 136. 2C �Ǭq�'E��ƶçL�FS��b�4Q䚆p�|ڗk.W/�KM= ������h�Ԣ��z ��-��|�1�K�`�&��1��{�Kc�L�׮2��!! 5. The Authority must maintain satisfactory arrangements for—. 5. Restitution orders in cases of market abuse. Appointment of persons to carry out investigations in particular cases. Regulators power to require information : authorised persons etc. 15. Alteration of schemes and changes of operator, trustee or depositary. Recognition orders: role of the Treasury. 21. 12.Any of the following— (a) debentures; (b) debenture stock; 13. The Income and Corporation Taxes Act 1988 (c. 1). Application of sections 393 and 394. Liability in relation to recognised body’s regulatory functions. 0000007050 00000 n 19. 198. 3. Right to obtain documents and information. 16. 252A.Proposal to convert to a non-feeder UCITS. Applications for recognition of individual schemes. (1) “State of the commitment”, in relation to a commitment... Part II Banking Business Transfer Schemes. The securities are offered in connection with a genuine invitation... (1) The securities are offered to a public authority. Procedure on making or varying orders under section 329. Statements under section 395: consultation. 292. 44. 383. The Financial Services and Markets Act (FSMA) 2000 is an Act of Parliament that is most notable for its role in creating the Financial Services Authority (FSA) – a judicial body assigned with the task of regulating the financial services industry in the UK. Procedure on giving directions under section 281 and varying them otherwise than as requested. Where those effects have yet to be applied to the text of the legislation by the editorial team they are also listed alongside the affected provisions when you open the content using the Table of Contents below. 0000024180 00000 n Many translated example sentences containing "financial Services and Markets Act 2000" – Spanish-English dictionary and search engine for Spanish translations. 7. Duty of auditor or actuary resigning etc. Authority’s duty to consider other permissions etc. Investigations etc. Different options to open legislation in order to view more content on screen at once. Applications for authorisation of unit trust schemes. Authorisation orders : authorised unit trust schemes. Requirements imposed under section 320. Supplementary provision about certain behaviour. Part II Regulated And Prohibited Activities. 46. ��KH�~��›����+�7�53�2�a��7��X�ӓ���[ܭ Transferable securities: public offers and admission to trading, 84.Matters which may be dealt with by prospectus rules, 85.Prohibition of dealing etc. 6. LIABILITY OF ISSUERS IN CONNECTION WITH PUBLISHED INFORMATION, 1.Securities to which this Schedule applies, 2.Published information to which this Schedule applies, PART 2 LIABILITY IN CONNECTION WITH PUBLISHED INFORMATION, 3.Liability of issuer for misleading statement or dishonest omission. 369A.Reclaim funds: service of petition etc on FCA and PRA, 370.Liquidator's duty to report to FCA and PRA. Market confidence. (1) This paragraph applies to an EEA firm which is... 17.Regulations may— (za) require the FCA and the PRA to... 18.Regulations may provide that in prescribed circumstances an EEA firm... Part III Exercise of Passport Rights by UK Firms, Meaning of “the appropriate UK regulator”. authorised under the Financial Services and Markets Act 2000 immediately. 5. 261. 337. Power to change definitions of control etc. 351A.Disclosure under the UCITS directive. 172. 2. Rescission and variation of requirements. Rules applicable to former underwriting members. 22. Exemption from liability for compensation. Any changes that have already been made by the team appear in the content and are referenced with annotations. 8. Alteration of schemes and changes of manager or trustee. !�>翐~�������l9=Ab�L�%����O&�DEY7F",�3J����s+����X�19q� Applications to Tribunal to quash rules or provision of rules, Power to widen the scope of consumer redress schemes. PART 13A Enhanced supervision of firms exercising rights under the Insurance Distribution Directive, 203A.Insurance distribution directive: enhanced supervision of EEA firms by UK regulators, 203B.Insurance distribution directive: enhanced supervision of UK firms by an EEA regulator, 203C.Modification or waiver of rules where firm subject to enhanced supervision, 203D.Publication of directions under section 203C, 204A.Meaning of “relevant requirement” and “appropriate regulator”, 206A. (1) A person who contravenes paragraph 5(2) is guilty of... (1) A person who for the time being is an... (1) A person authorised as a result of paragraph 1(1)... (1) In this Schedule— “assets” includes contingent assets; “consolidated supervision”... Business to be conducted in a prudent manner. The modern form of redress is contained in section 90. FCA's power to require suspension or removal of financial instruments from trading, 313B.Suspension or removal of financial instruments from trading: procedure, 313BA.Procedure following consideration of representations, 313BB.Revocation of requirements: applications by institutions, 313BC.Decisions on applications for revocation by institutions, 313BD.Revocation of requirements: applications by issuers, 313BE.Decisions on applications for revocation by issuers, 313C.Notification in relation to suspension or removal of a financial instrument from trading, 313CA.Suspension or removal of financial instruments from trading: notification and trading on other venues, 313CB.Suspension or removal of a financial instrument from a trading by a trading venue: FCA duties, 313CC.Suspension or removal of a financial instrument from trading in another EEA state: FCA duties, 314A.The PRA's objectives in relation to Lloyd's etc, Power to apply Act to Lloyd’s underwriting. Procedure on giving directions under section 267 and varying them on FCA's own initiative. Consumers: regulated activities etc carried on by authorised persons, Consumers: regulated activities carried on by others. 4 Insurance market activity has the meaning given in section 316(3) of the Financial Services and Markets Act 2000 (section 1165(7)). Revised legislation carried on this site may not be fully up to date. The Northern Ireland legislation 01/01/2006 ) admitted to trading, 84.Matters which may be dealt by. Is responsible in relation to transferable securities to the House of... power to require information, 218B.Treasury power! 19.Rights under— ( a ) a contract for differences ; or of Contents ; about the Handbook 1... ; Prospectus requirements ; Deposit taking ; money laundering ; Consumer Protection Contents! Information from scheme manager ’ s regulatory functions office ” means— certain institutions, PRA-authorised persons carry! 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